Ng, So Yi 吳素宜

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SFC licenses

Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.

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Organisation Role Activity From Until
1 CIS SECURITIES ASSET MANAGEMENT LIMITED Rep Dealing in futures contracts 2016-06-28 2016-07-12
Rep Dealing in securities 2016-06-28 2016-07-12
2 CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED Rep Dealing in securities 2017-09-06 2019-02-18
3 CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED Rep Dealing in futures contracts 2017-09-06 2019-02-18
4 GOLDHORSE CAPITAL MANAGEMENT (HK) LIMITED Rep Dealing in securities 2020-06-11 2021-01-29
Rep Advising on securities 2020-07-09 2021-01-29
5 Goldhorse Securities Limited Rep Advising on securities 2021-05-13 2021-12-20
Rep Dealing in securities 2021-05-13 2021-12-20
RO Advising on securities 2021-12-20 2022-12-15
RO Dealing in securities 2021-12-20 2022-12-15
6 Hong Kong Securities (International) Company Limited Rep Dealing in securities 2012-02-08 2013-07-31
7 Soochow Securities International Brokerage Limited Rep Dealing in securities 2019-02-25 2020-05-17
8 Soochow Securities International Futures Limited Rep Dealing in futures contracts 2019-02-25 2020-05-17
9 SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED Rep Advising on securities 2016-08-04 2017-08-23
Rep Dealing in securities 2016-08-04 2017-08-23
10 SOUTHWEST SECURITIES (HK) FUTURES LIMITED Rep Dealing in futures contracts 2016-08-04 2017-08-23
11 UOB KAY HIAN (HONG KONG) LIMITED Rep Dealing in securities 2013-08-09 2016-04-15
12 UOB KAY HIAN FUTURES (HONG KONG) LIMITED Rep Dealing in futures contracts 2015-01-09 2016-04-15

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